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David Allen Donohoe

Roth Capital Partners, LLC

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About David Allen Donohoe

David Allen Donohoe is a financial advisor with over 20 years of experience. David joined Roth Capital Partners, LLC in 2007, and is located in the Newport Beach, CA office. Previously, David was employed at Flagstone Securities, LLC, Moors & Cabot, Inc., and Lehman Brothers Inc. David is licensed to provide investment advice in California and Maryland. He holds the Series 63, Series 65, Series 24, Series 79TO, SIE, and Series 7 licenses.

Firm Information

David Donohoe is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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David Donohoe’s Registration & Firm History

CA

03/20/2007 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

MO

07/20/2006 - 02/05/2007

FLAGSTONE SECURITIES, LLC (ST. LOUIS MO)

MA

03/29/1993 - 04/11/1995

MOORS & CABOT, INC. (BOSTON MA)

NY

01/27/1992 - 04/19/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/02/2007

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/14/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/11/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Allen Donohoe.
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